Needs, requirements and expectations 需求、要求和期望（关系和区别）

Organizations are created to achieve a goal, mission or objective but they will only do so if they satisfy the needs, requirements and expectations of their stakeholders. Their customers, as one of the stakeholders, will be satisfied only if they provide products and services that meet their needs, requirements and expectations. Their other stakeholders (shareholders, employees, suppliers and society) will only be satisfied if the products and services provided to customers are produced and supplied in a manner that satisfies their needs, requirements and expectations.
人们创建组织是为了实现目标、完成使命或达到目的，但只有在组织满足了其相关方的需求，要求和期望后才能做到。只有在组织满足了作为组织相关方之一的顾客的需求、要求和期望时，他们才会满意。只有在组织以满足组织的其它相关方（股东、员工、供方和社会）需求、要求和期望的方式向顾客提供产品和服务时，他们才会满意。
We all have needs, wants, requirements and expectations. Needs are essential for life, to maintain certain standards, or essential for products and services, to fulfil the purpose for which they have been acquired. According to Maslow1 , man is a wanting being; there is always some need he wants to satisfy. Once this is accomplished, that particular need no longer motivates him and he turns to another, again seeking satisfaction. Everyone has basic physiological needs that are necessary to sustain life (food, water, clothing and shelter). Maslow’s research showed that once the physiological needs are fulfilled, the need for safety emerges. After safety come social needs followed by the need for esteem and finally the need for selfactualization or the need to realize one’s full potential. Satisfaction of physiological needs is usually associated with money – not money itself but what it can buy.
我们都有需求、需要、要求和期望。需求是维持一定生活水准所必需的，或者说需求是产品和服务达成组织梦寐以求的目的所必需的。根据马斯洛理论，人是有欲望的，总有满足的需求。一旦实现了，那个特定的需求就不再是他的推动力了，他就会转向了一个需求，同样是寻求满足感。每个人都有基本的维持生命所必需的生理需求（食物、水、服装和安全）。马斯洛的研究表明生理需求得到满足后，安全需求就产生了。安全需求之后是社会需求【爱和归属——jelly】，而后是自尊需求，最后是自我实现或实现自我最大潜能的需求。生理需求通常关联到钱——不是钱本身，而是钱可以买到的那个东西。
These needs are fulfilled by the individual purchasing, renting or leasing products or services. Corporate needs are not too dissimilar. The physiological needs of organizations are those necessary to sustain survival. Often profit comes first because no organization can sustain a loss for too long but functionality is paramount – the product or service must do the job for which it is intended regardless of it being obtained cheaply. Corporate safety comes next in terms of the safety of employees and the safety and security of assets followed by social needs in the form of a concern for the environment and the community as well as forming links with other organizations and developing contacts. Esteem is represented in the corporate context by organizations purchasing luxury cars, winning awards, superior offices and infrastructures and possessing those things that give it power in the market place and government. Selfactualization is represented by an organization’s preoccupation with growth, becoming bigger rather than better, seeking challenges and taking risks. However, it is not the specific product or service that is needed but the benefits that possession brings that is important. This concept of benefits is the most important and key to the achievement of quality. Unfortunately, ISO 9001 certification falls into the category of physiological needs simply because,for organizations in some supply chains, it has become a necessity for survival.
这些需求通过个人对产品或服务的购买和租赁来满足。组织需求却大不相同。组织的生理需求是维持组织生存所必需的。通常利润排在首位，因为没有组织可以长期支撑亏损，但功能是至高无上的——产品或服务必须实现预期的功能，无论是多便宜得到的。其次是组织安全（需求），即员工的安全和财产的安全，其后是社会需求，即对环境、社区以及与其他组织构建的关系网。组织的自尊需求表现在购买豪华轿车、获得荣誉、高档写字间和基础设施，以及拥有让他们在市场和政府具有影响力的那些东西【比如：人大代表、政协委员、商会会长——jelly】。组织表现自我实现需求的方式是对成长的关注，成为最大而不是最强，寻求挑战，承担风险。但是，需求的不是特定的产品或服务，而是拥有这些产品或服务所带来的利益，这是最重要的。这种利益观念是成就质量最最重要和最最关键的。不幸的是，ISO9001认证被划归到了生理需求，仅仅是因为处在某一供应链中的组织，认证是组织生存所必需的。
Requirements are what we request of others and may encompass our needs but often we don’t fully realize what we need until after we have made our request. For example, now that we own a mobile telephone we discover we really need handsfree operation when using the phone while driving a vehicle. Our requirements at the moment of sale may or may not therefore express all our needs. By focusing on benefits resulting from products and services, needs can be converted into wants such that a need for food may be converted into a want for a particular brand of chocolate. Sometimes the want is not essential but the higher up the hierarchy of needs we go, the more a want becomes essential to maintain our social standing, esteem or to realize our personal goals. Our requirements may therefore include such wants – what we would like to have but are not essential for survival.
要求是我们让他人做什么，并且要求涵盖了我们的需求，但我们经常不能完全意识到我们需求什么，直到我们做出了要求。例如，我们拥有了手机后才发现，开车时实际上需要手机的免提功能。因此，在买卖过程中，我们的要求并不能完全表达我们所有的需求。在关注于产品和服务所带来的利益时，需求可以转化为需要，比如对食物的需求可以转化为对特定品牌巧克力的需要。有时候，需要不是必需的，而是需求的层次越高，需要就越是必需的，以维持我们的社会地位，自尊或实现个人目标。因此我们的要求可以包括这样的需要——我们希望得到的，而非生存的基本需要。
In growing their business organizations create a demand for their products and services but far from the demand arising from a want that is essential to maintain our social standing, it is based on an image created for us by media advertising. We don’t need spring vegetables in the winter but because industry has created the organization to supply them, a demand is created that becomes an expectation. Spring vegetables have been available in the winter now for so long that we expect them to be available in the shops and will go elsewhere if they are not. But they are not essential to survival, to safety, to esteem or to realize our potential and their consumption may in fact harm our health because we are no longer absorbing the right chemicals to help us survive the cold winters. We might want it, even need it but it does us harm and there are plenty of organizations ready to supply us products that will harm us
组织在扩大其业务时创造了对其产品和服务的需求，并非产生于“想要”的需求【在英语中，需求分为三个层次，want，need，demand。want是想要，是一种很泛的想法；need则是需要什么东西，但是会有不同的满足方式；demand就是非常具象的需求了。——jelly】（“想要”是维持我们社会地位所必需的），而是通过媒体广告为我们创造出来的想象（而产生的需求）。我们在冬天不需求春天的蔬菜，但由于行业创造出来的组织提供了蔬菜，于是产生的需求就转化成为期望。现在冬天有春天的蔬菜已有好长时间了，以至于我们期望在商店能买到蔬菜，如果没有的话，我们就到别家商店去买。但是这不是生存、安全、自尊或实现潜能所必需的，而事实上消费这些蔬菜对我们身体是有害的，因为我们无法吸收帮助我们在冬天生存真正所必需的化合物。我们可能需要蔬菜，甚至需求蔬菜，但却是在伤害我们，有太多的组织正准备提供伤害我们的产品。
Expectations are implied needs or requirements. They have not been requested because we take them for granted – we regard them to be understood within our particular society as the accepted norm. They may be things to which we are accustomed, based on fashion, style, trends or previous experience. One therefore expects sales staff to be polite and courteous, electronic products to be safe and reliable, policemen to be honest, coffee to be hot, etc. One would like politicians to be honest but in some countries we have come to expect them to be corruptible, dishonest or, at least, economical with the truth! As expectations are also born out of experience, some people might expect businessmen to be corruptible and selfish and it comes as no surprise to read about long drawn out court cases involving fraud and deceit. Likewise, after frequent poor service from a train operator, our expectations are that the next time we use that train operator, we will once again be disappointed.期望意味着需求或要求。不明确提出期望是因为我们认为那是理所应当的——在我们特定的社会里把期望理解为已接受了标准规范。期望是我们耳熟能详的东西，是基于时尚、风格、潮流或以往经验得到的东西。因此，人们期望销售人员是彬彬有礼的，电子产品是安全可靠的，警察是诚实的，咖啡是热的等等。在某些国家，人们期望政治家是诚实的，而我们则期望政治家是腐败份子，不诚实，或者至少在真实性方面是节俭的【没有真话的意思——jelly】。期望也产生于经验，某人期望商人是腐化堕落的，自私自利的，那么在阅读涉及欺诈方面的旷日持久的诉讼案件时，就习以为常了。同样，在经常得到一个火车运营商劣质服务后，我们的期望就是下次我们再用这家运营商时，我们还会失望的。

From ISO9000 Quality System Handbook by David Hoyle

Sound the Alarm! 敲响顾客抱怨的警钟

Sound the Alarm! 敲响顾客抱怨的警钟


It's odd to think of complaints as customer satisfaction tools. After all, they indicate the polar opposite of customer satisfaction, don't they? But that's exactly the point: An effective complaint system is your customer satisfaction warning signal. Imagine a big red light mounted on the wall of your conference room. When a customer complains, the light blinks a glaring shade of crimson as a deafening buzzer blares. This is how your complaint system should function.
把抱怨当作是衡量顾客满意工具的想法实在是太离谱了。总之，抱怨恰恰与顾客满意背道而驰，不是吗？但是这是要点：有效的抱怨处理系统是顾客满意的警示性信号。想象一下在会议室挂个大大的红灯。当顾客抱怨时，那个大灯闪烁着耀眼的光芒，就像防空警报一样发着震耳欲聋的响声。这就是抱怨处理系统该起到的作用。
Complaints communicate customer perceptions, and perceptions compose the largest determinant of customer satisfaction. Unfortunately, however, complaint systems are completely reactive: You're not reaching out to your customer--you're relying on the customer to reach out to you. This is a risky proposition. Many customers simply aren't going to take the time to lodge a complaint. They may believe their time is too valuable, might not have confidence in your ability to solve the problem, have decided to take their business elsewhere or have a hundred other reasons not to complain. For every complaint your organization receives, there may be four or five others you'll never know about.
抱怨传达了顾客的感觉，感觉是顾客满意度决定性因素。但不幸的是，抱怨系统完全起到了相反的作用：你不主动靠近顾客，你依赖顾客靠近你。这是非常危险的。许多顾客并不花时间提出抱怨。他们会认为他们的时间太宝贵了，也许对你解决问题的能力没有信心，所以就到别的地方做生意去了或有太多太多的理由不抱怨。你们公司收到的每一个抱怨，可能就有四个到五个你不可能知道的抱怨。
Because of its reactive nature, a complaint system should be used in combination with one or two proactive tools. These extend an organization's tentacles deep into the environment, while the complaint system acts as the last line of defense. If the proactive systems are effective, you'll hear about many issues long before they escalate to a complaint. But the complaint system will still exist--a monolith guarding the entrance to your customer satisfaction realm.
正是由于顾客是如此反应，就得把抱怨处理系统与1，2个积极主动的方法相结合。这些方法把公司的触角伸到环境中，抱怨处理系统作为最后一道防线。如果积极主动的方法奏效，你就可以听到许多在上升为前抱怨的问题。但抱怨处理系统依然存在，就像门前的大石狮子守卫着顾客满意度的城堡。

Point of contact 与顾客接触的要点

An effective complaint system must be easily accessible to your customers. A single toll-free phone number is typically the best mode of contact, even if your organization is a large multifacility company. Don't confuse your customers with instructions such as: "If you're calling about our outdoor recreation products, dial the Chuckamucka facility. If you're calling about our watercraft products, dial the Simpleville facility…"
一个有效的抱怨处理系统必须很容易地接近顾客。免费电话号码是保持接触的最佳方法，即使公司是个有多个场地的公司。不要让这样的话把顾客弄模糊了“如果你打电话是为了休闲产品，请打Chuckamucka的号码，如果是船只产品，请打Simpleville的号码”
Provide one phone number for complaints, and make sure it's posted prominently in multiple places (e.g., the user's manual, the assembly guide, the packing list, the exterior box, the invoice or the thank you note). Make it clear to even the most casual observers how to call if they have a problem. Don't fret that you're treating your customers like children. They want to be treated like children, at least in terms of getting in touch with you easily.
提供一个处理抱怨的电话号码，并在多个地方印出来（如，用户手册，安装说明，装箱单，外包装，发票或感谢信）。如果最少见的顾客有问题也很容易打电话找到你。如果你像对待孩子那样对待顾客就不要烦恼。顾客想被那样对待，至少跟容易和你接近。
Customers stand a significant chance of becoming irritated when they call to complain. Don't put them on hold or send them into voice mail. They'll only become more irritated, and this will hamper their ability to communicate the details of their problems. Establish whatever staffing or infrastructure is necessary so that customers can speak to a real person. It's a good investment.
当顾客抱怨时很容易生气的。不要让他们等待或给他们发短语邮件。他们只会更生气的，这将会使他们不能说明问题的详情。组建人员或基础设施是不要的，这样顾客可以与真人谈话，这是很好的投资。
Another communication faux pas is transferring a customer from one telephone extension to another. The first point of contact should be adequately trained and have the necessary tools for soliciting and recording the complaint's details. If the employee isn't able to carry out the task, take whatever action is necessary so that it can be carried out. Practicing complaint calls raises an employee's confidence and facilitates his or her ability to deal with the customer.
另一个沟通失礼是把顾客从一个电话传到另一个电话。与顾客联系的第一接触点应该是经过适当训练并知道如何恳求和详细记录抱怨的方法的接线生。如果接线生不能胜任，采取必要的措施使其胜任。预演抱怨可以增加接线生的信心使她有能力面对顾客。
Although other communication media such as faxes, e-mails or Web forms can function as first points of contact for complaints, voice contact is still the best. Customers with complaints want to talk to someone, and fast. Speaking directly with a human provides assurance that the problem will be solved and everything will turn out OK.
尽管通讯媒介如传真、email或网站可以作为第一接触点，但声音接触依然是最佳方案。带有抱怨的顾客想要和人谈，而且马上谈。与人谈保证问题可被解决，使一切恢复平静。
Empathy 同理心

Empathy is an important part of dealing with customers who have complaints. What exactly does empathy mean? Simply that the person talking to the customer understands the situation from the customer's point of view. He or she understands why the customer might be upset, is able to share some of the same feelings and lets the customer know that he or she would probably feel the same way.
同理心是面对带有抱怨顾客最重要的一部分。到底什么是同理心呢？简单说就是与顾客交谈的人站在顾客的角度来理解当时的状况。他知道为什么顾客暴跳如雷，能有相同的感受，让顾客知道他也有相同的想法。
Is it appropriate to express regret because of the problem? Sure. The customer has experienced something unpleasant, and it only makes sense to say you're sorry about it. Saying, "I regret you had this problem" isn't a confession of guilt. You're merely saying what one friend or business partner would say to another when something goes wrong. However, the organization's representative should stay away from any talk about guilt or fault-finding.
对问题表达歉意合适吗？当然啦。顾客经历了某些不愉快的事，对他们说对不起是很有意义的。说“让您有这样的问题，我很抱歉”不是承认有罪。你只是说了一个朋友或合作伙伴该说的话。但是公司代表不能谈及内疚或找茬儿之类的话。
Empathy allows the customer to feel that he or she isn't alone in the situation. The customer has an ally of sorts, an advocate. Creating this feeling in the customer is critical to defusing any anger or ill feelings the customer may possess. Empathy is also the first step toward turning the negative experience of the complaint into a positive one and ultimately rebuilding the customer satisfaction that might have been lost.
同理心可使顾客感到他在那种情况下不孤单。顾客有支持者。创造这样的气氛是消除顾客气愤感的关键。同理心也是把负面情绪转为积极因素，最终重新建立顾客或许已经失去的顾客满意的关键要素。
Obviously, the more upset and emotional a customer is, the more empathy will need to be applied to the situation. Everybody's communication style is different, but the essential message that most customers must hear is this:
* I can certainly understand how you feel about this situation.
* We regret that you were inconvenienced.
* We'll investigate this problem as quickly as possible and let you know what we learn.
很明显，顾客越激动越情绪化，越需要同理心。每个人沟通的风格各异，但顾客必须听到的是：
* 我可以肯定地了解你的感受。
* 给您带来的不便，深感歉意。
* 我们会尽快调查此事，并让您知道我们的进展

Getting the details 获取细节内容

In addition to expressing empathy, the person receiving the complaint must gather the details. Exactly what went wrong? Allow the customer to provide a general description, then begin to sharpen the particulars. Typical information includes the following details:
除表达同理心外，接线生必须收集细节信息。我们究竟错在哪里了？运行顾客提供泛泛的描述，然后开始进入细节。典型的信息包括：
* What was the exact nature of the problem? Generalities won't cut it. The problem statement must provide enough detail and depth to facilitate investigation.
* 问题的实质是什么？一般的泛泛描述不能解决问题。问题描述必须提供足够的细节和深度，以便进行调查。
* When did the problem occur? The date is certainly necessary, as might also be the time.
* 什么时候出现问题的？日期当然很必须了，时间也同样重要。
* Where did the problem occur? The state, city, plant, retail outlet, department, production line and machine all might be important.
* 在哪里发生的？州、市、工厂、零售店、商店、生产线和生产设备也许都很重要。
* Who were involved in the situation? What roles did they play?
* 当时谁在场？他们起什么作用？
* What product was involved? What were the part numbers or service types?
* 都涉及什么产品？产品号？或服务类型？
* Were there any specific batch numbers, serial numbers or other identifiers that provide traceability?
* 批次号？序列号？或其他可供追溯的号码
* Was the problem isolated or generalized across all products?
这个问题孤立事件？还是所有产品普遍存在？
Consistently gathering this breadth of information is difficult without a structured form. Most organizations custom-design complaint forms based on their individual needs. Decide exactly what information you need to investigate customer complaints and take effective action; then design your form around these needs. Certain sections of the complaint form are almost universal, including:
不断地收集这些信息要是没有固定的格式是很困难的。大多数公司按各自需要由顾客设计抱怨表。确定调查顾客抱怨需要什么样的信息，并采取有效的措施，然后根据他们的需要设计表格。抱怨表的某些项目是相同的，包括：
* The person to whom the complaint is assigned
* The response due date
* The cause(s)
* The action taken
* A verification of action taken
* A closure signature and date
* 接受抱怨的人
* 应该答复的日期
* 原因
* 采取措施的确认
* 关闭日期和签署
Also make sure to include proof of follow-up communication with the customer as one of the requirements of the form, if that's something your organization elects to do (it's a very good idea).
同时保证把包括与顾客再进行沟通的证据作为表格要求的一部分，如果那时公司要做的。（这是个很好的主意）

Project management 项目管理

Each complaint should be assigned to a project manager whose job it is to assemble the necessary resources and ensure that all phases of the problem-solving process are carried out. This individual should have the project management skills to ensure that the correct people are involved and that they have the proper tools to address the problem. The project manager should also have the authority to remove barriers and motivate action. The space on the complaint report labeled "assigned to" is usually where this manager is designated.
每个抱怨要分配给一个项目经理，他的工作室组织必须的资源，保证问题解决过程的各个阶段都得以执行。他应该有项目管理的能力，保证选择正确的人参与，并保证参与者有适当的方法处理问题。项目经理还应该有权力消除障碍激励行动。在抱怨报告的空白处写上“分配给”通常就是这个经理被指派的地方。
This might sound a little overblown to some people. After all, we're just talking about a customer complaint, right? Yes, but a customer complaint can be a very complicated affair. Consider all the steps that constitute a response to a typical customer complaint:
对某些人来说这也许有点太夸张了。总之，我们不是在谈论顾客抱怨，不是吗？是的。但顾客抱怨可能是非常复杂的。考虑所有如下步骤，这些步骤构成对一个抱怨的答复：
Clearly defining the problem 明晰确定问题
Identifying the root cause 识别根本原因
Proposing a range of acceptable corrective action 提出一揽子可接受的纠正措施
Choosing the action 选择措施
Implementing the action 执行措施
Following up to ensure the action was effective 接下来保证措施有效
Reporting the action and results back to the customer 将措施和结果反馈给顾客
Updating procedures and other documentation as necessary to reflect changed methods
对工作程序和其它文件进行必要的反映变化了的方法的更新
More steps could be added, depending on the nature of the complaint; complex projects require a project manager. Think about the effective and ineffective corrective actions you've been a party to. One of the keys to the effective action most likely was assigning someone responsible for driving the project through to completion, i.e., a project manager.
根据抱怨的性质增加步骤；复杂的项目需要项目经理。考虑你采取的纠正措施是否有效。一个有效的措施关键因素之一就是指定驱使项目完成的责任人，即项目经理。
Effective project management of customer complaints includes at least three distinctive hallmarks:
有效的顾客抱怨项目管理包括至少三个特点：
* Clear assignment of ownership for each complaint
* 为每个抱怨明确任命
* A defined problem-solving method. This is a logical step-by-step process for addressing the problem in a lasting way. The eight steps previously outlined constitute a problem-solving method.
* 确定问题解决方法。这是长久地明确问题一步一步逻辑步骤。上述第八步有解决问题的方法。
* Involvement of a wide range of personnel. It goes without saying that managers don't have all the answers. Organizations must use all their available creativity and intellect when customers complain. Executives, managers, supervisors, operators, trainers, technicians, administrators and troublemakers could all be drawn into the problem-solving process.
* 参与人员要广泛。毫无疑问经理们没有全部问题的答案。当有顾客抱怨时，公司必须利用他们的创造力和见解。把总监、经理、主管、操作工、培训师、技师、销售人员和麻烦制造者全都拉进问题解决过程。
Like a fire alarm, the best complaint systems swing the entire organization into action. The more people involved in the complaint investigation, action and follow-up, the more likely it is the organization will learn from the experience and not repeat the same mistakes. Team-based problem solving is a particularly effective tool for getting personnel involved. This doesn't necessarily mean decision making by committee, which is usually a disaster. It simply means that a wide range of people are contributing.
就像火警，最好的抱怨处理系统使整个公司动起来。在抱怨调查、采取措施和后续行动中涉及的员工越多，告诉越容易从此学到东西，越不容易再犯同样的错误。这没必要让委员会做出决定，那样的话问题可就大了。这仅仅是需要广泛的参与而已。
The overall management of the complaint system should be assigned to a complaint administrator. This person has a number of important responsibilities:
全部抱怨处理系统的管理可以指派给抱怨管理人员。该员工有很多重要的职责：
* Supervising the input of information into the complaint database
* Routing the complaint form to the appropriate project manager
* Ensuring that fields in the complaint database are updated as investigation and action proceed
* Escalating the complaint when investigation and action aren't proceeding according to plan
* 监督输入抱怨数据库的信息
* 把抱怨表安排给适当的项目经理
* 保证调查和措施完成后及时更新数据库
* 当调查和措施没有按计划实现时升级抱怨等级
Organizations have a habit of assigning the role of complaint administrator to someone with very little real authority. This is a mistake because it may be misinterpreted as an indicator of how inconsequential the customer complaint system really is. The role of complaint administrator is a big one, and its assignment shouldn't be taken lightly.
公司习惯把抱怨管理员的角色安排给职位较低的员工。这是错误的，因为这样会让人误以为顾客抱怨处理系统是多么不合理。抱怨处理人员的作用非常大，对其不能掉以轻心。

Complaint management software 抱怨管理软件

Complaint management software can facilitate the tracking and analysis of complaints significantly. The software's complexity and sophistication is meaningless; the important thing is that the person managing the complaint system can determine the status of all complaints at a glance and easily convert raw data into graphics.
抱怨管理软件可以使抱怨的追逐和分析变得非常容易。软件的复杂程度是没有意义的，重要的是管理抱怨处理系统的人员可以看一眼就能知道所有抱怨的状况，并方便地将数据转换为图表。
Many complaint management software packages can be bought off the shelf, and many of these are effective. It's often much cheaper and easier, though, for the organization to develop its own software tools. A complaint database can be developed in a matter of minutes using relational database or spreadsheet software. Complaint databases typically include fields for most of the spaces found on the complaint form. It's also a good idea to put the complaint database on a server, with read-only access granted to the organization as a whole.
许多抱怨管理软件包随处可以买到，许多是很有效的。通常比公司自己开发软件更便宜也更容易使用。使用关系数据库或电子数据表建立抱怨数据库就是几分钟的事。抱怨数据库通常包括抱怨表格里的大多数项目。将抱怨数据库放到服务器里也是个好主意，全公司以只读方式读取数据。

Justified vs. unjustified complaints 真假抱怨

Some organizations have decided that it's a good idea to classify complaints according to whether they are "justified." This makes logical sense, but it's the worst thing a company can do for building customer satisfaction. If I'm a customer, all my complaints are justified. Why else would I bother complaining? If you try to tell me that my complaint is "unjustified," it's only going to make me angrier than I already am.
某些公司根据抱怨是否真实进行分类。逻辑上这样做是可以的，但对于建立顾客满意来说这是公司做的最差劲的事。如果我是顾客，所有抱怨都得证实。为什么我自讨苦吃去抱怨呢？如果你试图告诉我抱怨证明是错的，这使我更加愤怒。
Once the customer experiences a problem, it becomes the company's problem. Regardless of the fault of the problem, customer satisfaction has been affected, and action must be taken. Consider these scenarios:
顾客一旦遇到问题了，那就成为公司的问题了。无论问题的过错，顾客满意受到影响了，必须采取措施。想象一下这些场景：
* The customer used the product incorrectly, and the performance was adversely affected; the complaint is deemed unjustified. But why did the customer use the product incorrectly? Was the application known prior to the sale? Were the instructions unclear? Is there any chance that the customer was misled, even unintentionally?
* 顾客未能正确的使用产品，产品性能受到影响，这样的抱怨肯定是证明有误的。但为什么顾客未能正确地使用产品呢？在销售前就知道应用了？说明书不清楚吗？是否有可能顾客被误导了？即使是无意被误导了？
* The customer says the product was damaged, but the type of damage described could only have happened at the customer location; the complaint is deemed unjustified. But should the product's packaging be improved? Should you provide guidelines for proper handling?
* 顾客说产品坏了，但从他描述的损坏类型看只能是在顾客手里坏的，抱怨肯定被证明有误。但是产品包括是不是应该改进呢？你提供适当操作的说明了吗？
* The customer said the shipment arrived late, but he or she selected the carrier; the complaint is deemed unjustified. But should you stipulate longer lead times when this carrier is used? Should you offer to contact the carrier on the customer's behalf? Should you assist the customer in selecting alternative carriers?
* 顾客说货到晚了，但那时他选的运输公司，抱怨肯定被证明有误。但是再采用该运输公司时，你是不是应该规定更长的交货时间呢？你是否代替顾客与该运输公司签合同呢？你是否应该坚持让顾客选择其它运输公司呢？
* The customer said the service person was rude, but the truth is that he was provoked by one of the customer's employees; the complaint is deemed unjustified. But should you provide your personnel training in dealing with difficult people? Should you coach your employees in conflict resolution?
* 顾客说服务人员太粗野，事实是顾客的雇员激怒服务人员了，抱怨肯定被证明有误。但你是不是应该培训员工如何面对不同的人呢？你是否应该训练员工解决冲突呢？
In each of these cases, an argument could be made that the problem was the customer's fault. Taking this position, though, does nothing to enhance customer satisfaction, nor does it further the organization's long-term objectives. Savvy organizations will look for ways to error-proof their products with customers.
在上述情况下，有人争辩说这是顾客出错出现的问题。这无助于增强顾客满意，对公司长期目标亦无益。聪明的公司将利用顾客发现产品防错的方法。
Of course, some problems are truly the customer's fault. When these situations occur, the organization might not be obligated to replace the product, provide credits or refunds, or accept returns. In all cases, however, customers must be treated in a diplomatic, cordial manner.
当然，某些问题确实是顾客的过错。当这样的情况发生时，公司没有责任替换产品，提供信贷或退款，或接受退货。但是，顾客必须以老练的真诚的方式对待。

Reporting back to your customer 给顾客反馈

Humans are naturally curious. If you give someone feedback, it's difficult to refrain from wondering what the person does with it. This is especially the case with negative feedback based on a purchased product. Customers want to know what action has been taken. After all, the customers had a negative experience related to something they spent their hard-earned money on. They even took the time to tell the organization about it. Now they're curious. What are you going to do about it?
人总是好奇的。如果你给某人反馈，很难不让人去想那人用反馈干什么。这就是来自购买的产品所产生的负面反馈的情形。顾客想知道都采取了什么措施。顾客用血汗钱买来的东西给他带来不好的经历，他们花时间告诉公司，现在他们好奇想知道你们都干了些什么？
If your organization is interested in turning the negative experience into a positive one, someone must take the time to report back to the customer. The communication should include three key elements:
如果公司想把负面经历转换成正面的经历，有人就得花时间向顾客报告。沟通应包括以下三个要素：
* The results of the investigation into the problem
* 问题调查结果
* The action taken
* 采取的措施
* A statement of thanks for reporting the problem
* 对报告问题表示感谢
Reporting action back to the customer closes the loop on the issue. It also lets the customer know that you take his or her feedback seriously and are committed to making improvements. In some cases, it can determine whether your organization remains a supplier to this customer.
向顾客报告就把这个问题关闭了。这也让顾客知道他的反馈被认真对待了，并进行了改进。在某种程度上，向顾客报告可以决定公司是否可以继续作为这个顾客的供应商。

Implementation procedures 改进程序

The following steps represent implementation guidelines for an effective complaint system:
一个有效的抱怨处理系统来说，以下步骤说明了改进方向：
* Determine what information is needed in order to investigate and take action on customer complaints. Build your complaint form around this information.
* 明确需要什么样的信息，以便进行调查和采取措施。用这些信息设计抱怨表格。
* Establish contact methods for customer complaints. Remember that voice contact is preferred by most customers. Test the contact method in various situations to ensure it works.
* 为顾客抱怨建立接触方法。记住大多数顾客喜欢声音接触。用各种情形试验接触方法保证好用。
* Develop a written procedure for how complaints will be handled. Stipulate responsibilities, authorities, protocols and problem-solving steps, as appropriate.
* 书面制定工作程序描述如何处理抱怨。规定职责、权限、适当的草案和解决问题的步骤
* Appoint someone as the complaint administrator. This person will be responsible for inputting information into the complaint database and routing the form for investigation and action.
* 任命某人为抱怨处理人员。该员工有责任把抱怨信息输入到抱怨数据库，为调查和行动制定方案
* Educate the customer on how to contact the organization in the event of a complaint.
* 教育顾客如果有抱怨如何与公司联系
* Train all employees in their roles within the customer complaint system.
* 对所有抱怨处理系统内的人员进行岗位培训
* When a complaint occurs, use structured problem-solving techniques to address them in a systematic manner (Refer to the article, "Six Fundamentals of Effective Problem Solving," Quality Digest, September 2002).
* 抱怨发生时，利用设计好的问题解决技术以系统的方法处理问题

Communication about complaints 抱怨的沟通

Complaint information should be one of the most widely disseminated topics in an organization. Trend data should be posted on every departmental bulletin board, along with the details of relevant complaints involving that department. Complaints, their root causes and eventual corrective action must be made topics of any regular communication that takes place throughout the organization.
抱怨信息应该是公司内散布最广的信息之一。抱怨趋势数据应该贴在每个部门宣传板报里，附带有与该部门相关的抱怨细节。抱怨，其根本原因和最终的纠正措施必须作为整个公司进行日常沟通时的话题。
Top management should be the most knowledgeable about complaints. Business review meetings should include a discussion of complaints as one of the primary agenda topics. Top management should aggressively review progress on determining root causes and taking effective action. When this happens, the effectiveness of the overall complaint system increases significantly and customer satisfaction stands a chance of being salvaged.
最高管理层应该知道抱怨。业务评审会应该把包括讨论抱怨作为主要的议题。最高管理层应该积极主动地评估在明确根本原因和采取有效行动方面的情况。如果这样做了，抱怨处理系统的整体有效性将会大大增加，顾客满意将有可能挽救回来。

ISO 9000 not TQM ISO 9000然，非TQM也

ISO 9000 not TQM ISO 9000然，非TQM也
Sunday, March 23, 2008

Why ISO 9000 Should Be A Company's Guidepost, And Not TQM
BY BRUCE BISHOP

为什么ISO 9000是公司的航标，而TQM不是？
Bruce Bishop著，Jelly翻译

The ISO-9000 quality standard and total quality management (TQM) are both necessary for any organization to become world class. But ISO is far superior because it offers a set of guidelines for quality management and can stand alone, while TQM can not.
任何想成为世界级的公司，ISO 9000质量标准和全面质量管理（TQM）两者都是必需的。但ISO更胜一筹，因为ISO提供了一整套质量管理方法且自成体系，而TQM就不行。
TQM, which generally refers to some program of continuous improvement, is the wrong name. It is not quality management but process management -- the process of improvement. And it is not total since it only addresses one aspect of quality management -- improvement.
TQM——通常被认为是持续改进的某些程序，是个错误的名称。它不是质量管理，而是过程管理——改进的过程。不是全面的，因为它只是涉及质量管理的一个层面——改进。
Sometimes, TQM deals with things that don't even impact quality from the customers' point of view.
有时候，从顾客的角度来看，TQM所及甚至不影响质量
ISO-9000 is total quality management. It requires management of every process in an organization that impacts quality. While ISO-9000 is a clearly defined system, TQM is a philosophy.
ISO 9000是全面质量管理。它需要管理组织内影响质量的每一个过程。ISO 9000是界定清晰的体系，而TQM是种理念。
ISO-9000 is an excellent tool for managing quality. Its core requirements have the same meaning worldwide. Although it is sometimes misinterpreted, audits by an outside registrar help to put it on the right track.
ISO 9000是优秀的管理质量的方法.全世界有相同的核心要求。尽管有时候被误解，但外审可以使其回到正确的轨道上来。
TQM on the other hand is a philosophical concept, with no generally accepted definition. Like religion, there are as many versions as there are advocates. A study by Ernst & Young turned up some 945 different approaches being peddled as TQM by consultants who claim to help clients implement it.
另一方面，TQM则是个理念性的概念，没有普遍意义的定义。就像宗教，有多少信徒就有多少个版本。Ernst 和Young的研究发现有945种不同的方法被咨询师冠以TQM。

ISO-9000 is preventive. TQM is remedial. ISO 9000是防患于未然，TQM是亡羊补牢

ISO-9000 systematically addresses every area of a business where quality problems can occur. It does this by requiring that management define the potential problems and implement appropriate practices to prevent them. This gives managers broad latitude in determining their policies and procedures, many of which are informal and already exist but simply need to be documented and followed consistently.
ISO 9000系统地处理业务的每个可能发生质量问题的方面。这需要管理确定潜在问题和适当的预防措施。在确定其质量方针和工作程序时，给经理们极大的空间，大多数质量方针和工作程序都是现成的不那么正规，只需建立文件和始终如一地贯彻执行而已。
There are only a half-dozen or so aspects to any business where quality problems can originate. They include order entry, design control, material procurement, document control, process control and training. ISO-9000 addresses each of these areas to ensure that management has a plan in place to prevent quality problems.
质量问题产生于六个左右的业务面，包括订单、设计控制、原材料采购、文件控制、过程控制和培训。ISO 9000涉及了这些业务的方方面面，保证管理层事先有计划防止质量问题。
TQM is aimed at identifying the causes of quality problems and eliminating them. The theory is that by involving everyone in solving quality problems, eventually all problems will be eliminated and the company's quality will continue to get better and better. Unfortunately, TQM is based on studying past data which amounts to examining the barn door after the horse has run away.
TQM关注识别质量问题的原因以及消除质量问题。其原理是在解决质量问题时触及每个人，最终消除所有问题，使得公司的质量越来越好。不幸的是，TQM是基于研究过去的数据，等于亡羊补牢。
A company can go from having no quality system to being ISO certified in as little as six months. The typical TQM program takes a year or so just to get started. As one Ford Motor Company executive stated in 1991, "We have been working on TQM for ten years and we figure we are about halfway there."
从没有质量体系到取得ISO认证只需要六个月的时间，而TQM需要一年左右的时间，而且仅仅是起步。正如福特公司一名高层人士1991说过的那样“我们已经进行TQM十年了，我们认为我们只走了一半的路”。
One of the greatest features of ISO-9000 is that it is self-policing. TQM is not. What's more, ISO-9000 has continuous improvement built right in. In order to maintain certification, management must be able to prove that quality problems are addressed and resolved as they occur. The "continuous improvement loop" in ISO-9000 consists of "corrective actions," "internal audits" and "management reviews." Whenever a quality problem appears, it must be documented and a root-cause "corrective action" must be devised and implemented. Once implemented, the corrective action must be reviewed during the next internal audit and the results reported to a formal management review. If the problem is solved, no further action is required. If the corrective action didn't fix the problem, then management must come up with a new corrective action, which is then audited and reported at the next management review. This cycle continues until the problem is solved.
ISO 9000最大的特点之一是自我约束，而TQM不是。另外，ISO 9000有持续改进的机制。为了保持认证有效，管理层将必须证明当质量问题发生时得以处理和消除。在ISO 9000持续改进环包括纠正措施、内审和管理评审。无论何时发生质量问题，都必须记录在案，并制定和实施针对根本原因的纠正措施。在执行完毕后，必须在下一次内审时对纠正措施进行评审，并将结果上报管理评审。如果问题得以解决，就不需要采取进一步的措施。如果纠正措施不能解决问题，那么管理层将必须采取新的纠正措施，同样被评审和上报下一次管理评审。如此循环直至问题得以解决。
TQM has a history of fading away over time. While ISO-9000 requires documentation and record keeping, there is no such requirement in TQM. As a result, improvements often get lost or forgotten as new people, new products and new managers come and go. Also, the typical TQM implementation relies heavily on the leadership of a "champion." When the champion goes, so does the TQM program. Unlike ISO-9000, which requires regular audits by an outside party, TQM can disappear without a whimper. According to various published reports, about three-quarters of significantly sized American manufacturers have attempted some form of TQM. Of those programs, about four-fifths have failed to produce any significant results and most of them have simply disappeared.
TQM随着时间的推移会消失。ISO 9000需要文件和保持记录，而TQM没有这方面的要求。其结果是改进常常被新人、新产品和新经理们在来来往往的过程中遗失或忘记了。同样，TQM的执行很大程度上依靠“运动”的推动。当运动结束了，TQM也就拜拜了。不像ISO 9000，需要定期外审，TQM可以无声无息地消失。根据许多报告称有四分之三的美国大型企业尝试过TQM，五分之四未能产生任何有意义的结果，大多数都死翘翘了。
If a firm is ISO-9000 certified by an accredited registrar, you can be certain that it is in compliance with the key elements of the standard and that the continuous improvement loop described above is alive and working. If, on the other hand, a firm claims to have a TQM program, you can assume nothing. I recall one CEO who remarked proudly, "Yes, we are doing TQM. We just hired seven new inspectors."
如果一家公司被注册审核机构认证了，你可以肯定它符合标准关键要素，并且上面提到的持续改进环是起作用的。另外一方面，如果一家公司声称采用了TQM，你什么都不能保证。我想起来一个CEO骄傲地说过“是呀，我们正在做TQM，我们新雇用了七名检查员”。
If a business wants to remain competitive, it must have a robust quality management program. ISO-9000 is the only globally accepted, all-purpose model for quality management in the world. So far, more than 130,000 firms worldwide (20,000 in the U.S.) have become certified to ISO-9000 and the number is growing rapidly.
如果想保持竞争力，就必须有强有力的质量管理体系。ISO 9000是唯一被全球所接受，通用的质量管理模式。到目前为止，全世界有13万家企业（美国有2万）已经获得认证，而且这是数字还在继续扩大。
Once an organization becomes certified to ISO-9000, a maturing process begins which can take from two to five years. This is because human beings take time to adjust to change. After the quality management system has matured sufficiently, a vigorous program of team-based continuous improvement (TQM) could help to further improve quality.
一旦组织获得ISO 9000的认证，成长过程就开始启动了，一般需要2到5年的时间。这是因为人需要时间来适应管理模式的改变。在质量管理体系成长到一定的程度时，充满活力的以小组为单位的持续改进（TQM）可以对进一步的改进质量提高帮助。
The advanced tools of improvement, such as failure mode and effect analysis (FMEA), quality function deployment (QFD) and six sigma could also help to move the company toward being a world-class operation. But until there is a solid foundation of quality management, which only ISO-9000 provides, there is little to be gained from these advanced techniques.
先进的改进方法，如失效模式和后果分析（FMEA），质量功能展开（QFD），和六西格玛也可以帮助公司朝着成为世界级运作的方向前进。但在公司建立好基础扎实的质量管理体系前，只有ISO 9000可以帮你，采取这些先进的方法收效甚微。

Dear Boss 给老板的一封关于关注顾客方面的公开信

Dear CEO:
亲爱的总经理：
I'd like to thank you for the nice pizza party you threw at our ISO 9001 kickoff event. Everybody enjoyed it and appreciated your inspiring words. The joke you told about the elephant, the preacher and the procedure notebook was very amusing. Your sense of humor is exceptional, especially for a member of top management.
我要感谢您美好的匹萨聚会，在此您拉了我们ISO 9001的序幕。每个人都很喜欢这次聚会，感谢您鼓舞人心的讲话。您关于大象】传教士和过程记事本的笑话太逗了。您的幽默感出乎我们的意料，特别是作为最高管理层一员的您。
The purpose of my letter is to prepare you for the work we have ahead of us. I know how busy you are, and it's easy to get caught up in the day-to-day issues of running our organization. However our new quality management system (QMS) is the way we're going to run our organization, and you'll be a key to its success. Your engagement in this effort will determine whether we use our QMS to become more competitive and customer-focused, or if it will be only a piece of paper on the wall.
我写此信的目的是为您准备我们要做到工作。我知道您很忙，轻轻松松就可处理好经营我们公司的日常事务。但是，新的质量管理体系（QMS）是我们将要运作我们公司的方法，而您是取得成功的关键所在。您为此付出的努力决定了我们利用QMS成为一个更具有竞争力和顾客为关注焦点的企业，还是把QMS成为挂在墙上的一张纸。

Chief, we need a little strategic planning 头儿，我们需要点战略策划

As you know, identifying processes is a key step in implementing our management system. Let's make sure we identify at least one customer for every process. Whether it's an internal customer or an external customer doesn't matter. What matters is that the people working within every process understand that they serve someone outside of their own little kingdom. Right now, some of our processes operate as if they serve only themselves. We need to drive a customer focus from one end of this organization to the other, and our QMS will help us do it.
正如您所知，识别过程是实施我们管理体系的关键。让我们保证我们为每个过程识别至少一个顾客。无论他是内部顾客还是外部顾客都无所谓。有所谓的是在每个过程里工作的人都知道他们在为他们小王国以外的人服务。现在，我们某些过程的运行好像就为他们自己服务似的。我们需要从公司的这边到那边推行顾客为关注焦点，QMS可以帮助我们这样做。
One of the key processes is strategic planning. ISO 9001 doesn't require strategic planning, but it's the logical starting point for a lot of things that the standard does require. Everything we do demands the high-level guidance that strategic planning delivers. At least once a year you should assemble your best and most diverse advisors and scan our competitive environment. What do our customers require and desire? How are these requirements and desires changing? As an organization, how well are we positioned to address the changing market and our ever-evolving customers? We need to match ourselves against the realities of our environment, identify actions that will drive us forward and implement these actions with a clear plan. This is the essence of strategic planning. If our ISO 9001 system is disconnected from strategy, then we have a serious problem.
关键过程之一是战略策划。ISO 9001不需要做战略策划，但战略策划是逻辑上的起点，来完成许多标准要求的工作。我们所做的每件事都需要高层战略策划中所阐述的引导。每年至少一次，您应该召集您最优秀的各个领域的顾问来审视我们的竞争环境。我们的顾客都需要些什么以及希望什么？这些要求和希望有什么变化没有？作为一个公司，我们该把自己摆在什么样的位置上来应对变化的市场和不断变化的顾客？我们需要把我们自己与现实的环境相匹配，识别这些驱使我们向前的措施，用明确的计划实施这些措施。这就是战略策划的核心。如果ISO 9001体系与战略分离，那么我们就面临严重的问题。

Ditto for objectives 还需要点目标

Objectives flow directly from our strategic plan. They tell everyone what specific initiatives are important to our success. Please help us choose strategic, hard-hitting objectives. They should tie directly to our strategic plan, translating that document into simple metrics that everyone can understand. Because our strategic plan will be focused on better serving our customers, our objectives will also be tied to customers. Each process will have objectives that directly relate to the customers it serves.
战略策划直接产生目标。这些目标告诉每个人什么样的主动性对我们的成功来说是重要的。请帮助我们选择战略的富有挑战性的目标。这些目标应该与我们的战略策划直接挂钩，将这些目标文件翻译成每个人都懂的简单标准。因为我们的战略策划关注于更好的服务顾客，我们的目标也将与顾客密不可分。每个过程都有与其服务的顾客相联系的目标。
Resist the temptation to have two sets of objectives, one for the sake of ISO 9001 and the other for "really" running the business. We only need one set of objectives that everyone understands. Don't bother to call them "quality objectives" because that will only cloud the issue. Somebody might hear the term "quality" and try to narrowly define what the objectives may address. Our objectives should address how we drive success, period.
要抵制建立两套目标的诱惑，一套为ISO 9001，另一套用于实际操作。我们只需要一组大家都理解的目标。别为将这些目标称其为“质量目标”所困扰，因为这将混淆视听。某些人听到“质量”一词，就试图把目标确定的范围缩小。我们的目标引导我们如何走向成功。句号。
As chief executive, you are uniquely qualified to communicate our objectives and their significance. This message could come from somebody else in the organization, but it's much more effective coming from you. Explain to everyone how each of our objectives affects our long-term success, and ensure that all employees know exactly how they contribute to achieving objectives. Above all, make sure that we all know how we affect our customers in our everyday actions.
作为总裁，您是唯一适合宣传目标及其重要性的人。讲演稿可出自公司的其他人，但最有效的是您亲自写。向每个人解释我们每个目标如何影响我们的长期成就，并保证所有员工明确了解他们该如何为目标的达成做出贡献。总之，让我们所有人知道我们的日常工作行为如何影响顾客的

Which brings me to management review 管理评审

You should strive to make management review your forum for reviewing data and making decisions. We're not doing it for the sake of ISO 9001; we're doing it to ensure our success. Management review should occur regularly and rely on timely information. If we already have top-level meetings for reviewing our organization's progress, then let's just turn these into our management review. It doesn't matter how we do it; the only requirements are that the review is your event, and we must cover the specified inputs and outputs. We can get as creative as we want. Management review should never be done just to satisfy an ISO 9001 requirement. The point is to review data, make decisions and become a more successful organization over the long term.
您应该尽力开好管理评审会议，评审数据和制定决策。我们不是为了ISO 9001而进行管理评审，而是为了保证我们的成功。管理评审应该定期召开，并且依据实时信息。如果我们已经有了高层会议评审我们公司的进展得很，那么让我们把这些会议转变为管理评审。我们怎么做无关紧要，唯一的要求是评审是您的工作，我们必须涵盖特定的输入和输出。我们也可以进行我们想要的创新。管理评审不仅仅是为了满足ISO 9001的要求。其要点是评审数据、做出决策并成为长期成功的企业。
Communicate broadly about all aspects of our QMS. We have a wide range of communication media; it's just a matter of using them. Take every opportunity to talk honestly to our organization about what we're doing and where we're going. Try to connect your message to the things we're doing in the QMS and how they affect our customers. Don't assume that we'll immediately understand. Be very explicit in your communication, and don't forget to allow room for us to respond.
广泛宣传QMS的所有方面。我们拥有多种多样的宣传媒介。只要动用这些媒介就可以了。利用每个机会真诚地宣告我们公司正在做什么和我们的前景目标。把您的致辞与我们正在做的QMS联系起来并宣传这样做是如何影响顾客。不要假设我们会马上理解。在您宣传中要清晰易懂，不要忘记给我们做出反应的空间。

You rule customer feedback 您掌控着顾客反馈

Customer feedback is another key aspect of our QMS, possibly the most important. It's certainly the most critical data we receive. It communicates even more than our financials, which tell us only what has already happened and are poor predictors of the future. Not only can customer feedback predict our future, it's our gateway to long-term success.
顾客反馈是QMS另一个关键方面，也许是最重要的。当然也是我们收到最带有火药味的数据。这些数据传达的信息远超于财务方面，告诉我们什么事情已经发生了，是未来不详之兆。顾客反馈不仅仅预言我们未来，它也是我们走向长期成功的一扇大门。
As our chief executive, you need to obsess about customer feedback. You should thirst for every bit of feedback we collect--positive or negative. Collect it we must because we can't sit around and wait for customers to call us. We need simple, concise tools for capturing feedback proactively. To collect feedback, let's use existing customer interactions instead of inventing new ones. Our organization already has multiple contacts with customers day in and day out, and these interactions can easily be leveraged to gather feedback.
作为总裁，您需要不断地关注顾客反馈。你应该如饥似渴地想知道我们收集的反馈信息的每个细节，正面的或是负面的。我们得去收集因为我们坐等顾客给我们打电话。我们需要简明的前期获取反馈信息的工具。要收集反馈信息，让我们利用现有的顾客交流渠道，而不是发明什么新方法。我们已经有多种多样天天使用的交流方式，这些方法可以很容易地被用于收集反馈信息。
When customers complain, you should take it personally, mobilizing all of our resources to take corrective action. Not everyone realizes how critical customer complaints are, so you must remind them. Make it easy for customers to complain, and make it easy for us to fix their complaints. When customer feedback indicates something positive, find out what's causing the satisfaction. Share what you learn with everyone, and make it our new standard. If you're constantly asking about customer feedback, everyone will understand how important it is.
当顾客抱怨时，您应该个人动员我们全部的资源采取纠正措施。并不是每个人都了解顾客抱怨的重要性，所以您得提醒他们。创造条件让顾客抱怨更容易，让我们解决这些抱怨更容易。当顾客反馈对我们做出了肯定，那就找到是什么让顾客满意。把您知道的与每个人分享，使之成为我们新的标准。如果不断地询问顾客反馈，这样每个人就知道反馈信息有多重要了。

Can you fix this? 您能解决这个问题吗？

Another thing to keep on your radar is our corrective and preventive action system. I suspect we're going to have difficulty motivating people to use these processes. Nobody likes extra work, and very often that's what these appear to be. Investigating and solving problems aren't extracurricular activities--they're a key job function for everyone. When problems come up or customers complain, you should say, "Let's open a corrective action." When a potential problem is revealed, you need to say, "Let's initiate a preventive action." In both cases, make sure that adequate resources are applied and that we follow through to completion.
另一件事是关注纠正和预防措施。我怀疑我们在让人们使用这些过程时会有麻烦。没人喜欢额外的工作，这是司空见惯的。研究问题和解决问题并不是额外的工作，对每个人来说是他们关键的工作职能。当问题出现了或有顾客抱怨了，您该说：“让我们启动纠正措施吧”。当发现了潜在问题时，您该说“让我们启动预防措施吧”。要保证有足够的资源以及我们坚持到底直至成功。
Very few of us have had training on problem-solving techniques. Can you fix that? Getting everyone up to speed on problem solving will be a huge step in our development as an organization. It will prepare us to take part in the corrective and preventive action process. You should participate in the training, too. You're busy, but you're not too busy to become a better problem solver. Your presence would also underline the significance of this training. If you're agreeable, I'll have a purchase order on your desk tomorrow for problem-solving training. Becoming better problem solvers is one of the best investments we can make. The better we are at problem solving, the better we will be at addressing the changing needs of customers.
我们很少有人受过问题解决技术方面的培训。您能解决这个问题吗？让每个人加速解决问题是我们的巨大进步。这将让我们准备好进行纠正和预防措施。您也该参加培训。您忙，但再忙也不如成为更好的解决问题专家。您的出席也强调了培训重要性。如您同意，明天我就把问题解决培训教程的购买单放您桌子上。成为问题解决专家说我们可以做的最佳投资之一。我们在解决问题方面表现的越好，我们在面对日益变化的顾客需求方面做的就越好。

One word: training 一个字：培训

That brings me to training in general. Training is one of our key processes for preventing problems in the first place. It's not optional. We don't have to spend piles of money and weeks of time, but we do have to train our people. I've worked for too many organizations where training was considered good to do if time and circumstances allowed. Once we got busy, training was abandoned. "Hey, we've got work to do!" everyone shouted. "Who's got time for training?" Then they wondered why customer complaints skyrocketed. It's simple cause and effect: Neglect training, and people will make mistakes.
让我概要说下培训。首先培训是我们预防问题的关键过程。不是可有可无。我们不用花很多的钱和投入数周的时间，但是我们不得不培训员工。我在太多的公司干过，只要时间和条件允许培训都做的不错。一旦我们忙起来了，培训就中止了。“嘿，我们得干活”每个人都这样叫道，“谁有时间培训呀？”然后他们就顾客抱怨为什么那么多。这只是个因果关系：忽视培训，员工将出错。
Here's a deal for you: We'll strive to keep the training lean, concise and relevant. In return, you'll frequently ask managers and supervisors how their training programs are going. Maybe you could periodically drop in on training to remind trainers and trainees alike of how important this process is to our success. You should keep yourself in a constant state of learning, too. Nobody needs training more than you, given the huge responsibilities that you face.
这儿有个交易：我们努力进行培训，简洁而又与工作相关。作为回报，你可以经常问问各级经理和主管他们的培训进行的如何。你也可以阶段性地检查培训工作，以提醒培训师和受训人员培训对我们取得成功有多么重要。您也应该把培训作为日常工作。如果您面对更大的挑战时，没有人比您更需要培训的了。

Let's work smart on internal auditing 内审

Internal auditing is a process you'll be involved with in the near future. You may never actually perform an audit (although it would be great if you did), but you'll certainly be an essential part of the process. A key role you'll play is making sure that audits are properly resourced. Insist that smart, insightful personnel are selected as auditors. Don't let auditor selection become an exercise in "who can we spare?" Invest the process with smart people, and the results will drive improvements. When audits reveal opportunities, ensure that we take corrective and preventive action. Our audits should focus on important, strategic issues. Ask how the audits are helping us become a better organization. Ask why our customers should care that we're doing audits. Help us keep our eyes on the things that matter, and audits will produce strong results.
内审您将参与的一个过程。你也许从不实际参与审核（尽管如果您能亲自参与那就太好不过了），但您将理所当然地是内审过程的基石。您起的关键作用是保证内审员得到相应的资源。坚持把聪明的富有洞察力的人选为内审员。不要让内审员选举成为“我们能分享给谁呢？的游戏。把聪明的人放在内审的岗位上，内审的结果就会推动改进工作。但内审发现了改进机会，要保证我们进行纠正和预防措施。内审侧重于重要的具有战略意义的问题。问问内审如何帮助我们成为更好的企业，问问为什么顾客关心内审。帮助我们专心于内审，其结果将产生好的结果。

Boss, are you listening? 您还在听吗？老板？

One of the final topics I'd like to talk about is trust. Please trust me when I recommend that we do something to improve our organization. It's your prerogative to disagree with me, of course, but at least trust that I have our organization's best interests in mind. Just because I'm an employee doesn't mean I can't have good ideas. Too many business leaders fall into the trap of thinking that great ideas have to come from outside the company, especially from someone with a briefcase and a business card with the word "consultant" printed on it. The answers to most problems lie right here within our organization; we just have to listen to them. The title CEO should be changed to CLO, for Chief Listening Officer. You'll listen to data, listen to customers, listen to competitors, listen to suppliers and, of course, listen to us, the employees. All this listening, combined with wise action, will ensure that we do the right things.
最后一个话题之一是信任。请相信我所建议的改善公司所要做的事。当然，您有特权不同意我，但至少相信我将告诉最大利益放在心上。仅仅是因为我是员工，并不意味着我不能有好主意。太多的商业领袖陷入认为好点子来自公司外的怪圈之中，特别是那些手拿文件箱，名片上印着”顾问“字样的人士。大多数问题的答案就在企业内部，只有我们聆听。您聆听数据、顾客、竞争对手、供应商，以及我们。所有这些聆听，加上明智的行动，就保证我们做正确的事。

You hold the key您掌控着钥匙

Finally, be aware that our QMS is a bellwether of our success. A failing management system is a predictor of much larger failure. If we let our QMS decay, become bureaucratic or too inwardly focused, we'll seal our doom. We must use our system to look outward and see where the market and our customers are moving. Your interest, involvement and leadership are the only ways that our QMS will remain viable and improve. If a piece of our system serves no purpose, have it removed. If we're not following our procedures, find out why. If something we do doesn't make sense, investigate further. The words "why" and "I'm listening" are your best friends. You have the power, through these words and your own innate wisdom, to keep us customer-focused and always improving. You hold the key.
最后，要知道QMS我们走向成功的领头羊。一个失效的管理体系就是更大失效的前兆。如果我们让QMS衰退成为官僚机构或只注意向内看，那么我们必死无疑。我们必须向外看，看市场和顾客往哪里走。您的关注、参与和领导是唯一使QMS保持可行性和改进的方法。如果管理体系未按要求进行，就改了它。如果我们未能按过程要求做，就问问为什么。如果我们不知道，就深查严究。“为什么”和“我在听”是您最好的朋友。通过使用这些词和您天生的才华，您有权力使得我们时刻关注顾客并常常改进。您掌控着钥匙。

From Craig Cochran

High Impact Auditing 内审重磅出击

Internal auditing, the process by which an organization examines its ability to meet internal and external requirements, can be one of the most effective tools for triggering continual improvement. It can also be an expensive waste of time and a source of endless frustration and conflict. Which it becomes for you depends on how your organization plans and manages its audit system.
内审——组织用来检测自身满足内部和外部要求的过程，可以是激发持续改进最有效的工具之一。也可以浪费大量的时间和无穷无尽令人失望和矛盾的根源。内审成为有效的工具还是麻烦取决于你的这种如何策划和管理审核体系。
Auditing is not only a balancing act--identifying positive and negative aspects of a company’s performance--but also a planned activity, with auditors and auditees agreeing on the audit’s time, place and scope. Surprise audits are neither necessary nor desired. Internal audits generally use an organization’s existing personnel for the task, although outsiders are occasionally called in.
审核不仅仅是平衡的艺术——识别公司业绩正反面，同时也是策划好了的活动，审核员与被审人员同意审核的时间，地点和范围。突袭式的审核即没必要也不要求如此。内审通常利用组织内现有人员完成，尽管有时会找组织外人员来做内审。
Internal audits offer huge benefits, both to the organization’s top management and the auditors. Top managers can:
* Discover what’s really going on within the organization, which allows for more objective decision making
* Learn of potential problems before they explode into issues that pose significant risk to the organization
* Ascertain where failures occur, enabling the containment of these problems and initiation of corrective action
* Identify where resources should be directed
* Determine how effective their training efforts are
* Learn which processes and personnel are particularly effective, which can trigger recognition
内审对最高管理层和内审员都有很多益处。最高管理层可以：
* 发现组织内在干什么，这样可以做出客观的决策
* 发现潜在问题，在其成为给组织造成重大问题前
* 确定故障在何处发生，从而抑制这些问题并采取纠正措施
* 识别资源投放的方向
* 确定培训的有效性
* 发现特别有效地过程和优秀员工，可以引发再识别过程
For their part, internal auditors:
* Gain exposure to other parts of the organization, which broadens their experience
* Are exposed to best practices they can implement in their own departments
* Learn how they contribute to the organization’s success, which increases motivation and employee retention
* Expand the organization’s competency and knowledge base through their experience
内审员则可以：
* 在组织内的其它部门亮相，扩大他们的阅历
* 展示他们改进自身部门的最佳方法
* 发现内审员如何为组织的成功做出贡献，这可以激发动力和员工的凝聚力
* 利用内审员的经验开展组织的能力和知识库
An effective internal audit system must work in concert with other systems, especially corrective and preventive action. An internal audit takes a snapshot of the organization, identifying nonconformities, opportunities for improvement and positive practices. Auditors don’t propose specific actions, fixes, solutions or recommendations. They simply identify where failures and successes occur. By their nature, audits typically identify more failures than successes, and these failures are called audit nonconformities.
有效地内审必须与其它方法相呼应，特别是纠正/预防措施。内审就是给作者拍快照，识别不合格、发现改进和积极实践的机会。内审员并不提供特别的行动、纠正、解决方案或建议。他们只是简简单单地识别失效和成功发生在何处。审核发现失效多于成功，这种失效称之为审核不符合项。

Requirements vs. opinions 要求与观点

To identify a nonconformity, a requirement is needed. You might have a concern, remark or opportunity, but it’s not a nonconformity unless it’s clearly tied to a requirement, a fact that’s often overlooked.
识别不符合项就需要要求。你可以对某事有种关切、评论或机会，但那不是不符合项，除非此事与某项要求有明显的联系，这是常常被忽视的事实。
Any activity, process or outcome that doesn’t meet requirements is a nonconformity. A number of sources, such as ISO 9001, inspection checklists, purchase orders and product specifications, could introduce specific requirements the organization must implement. The auditor’s opinions, notions, philosophies and personal experiences, however, don’t constitute requirements. When people audit with an eye toward driving continual improvement, requirements are sometimes “invented,” albeit usually with good intentions. One of the best techniques for ensuring audit nonconformities are written correctly is insisting that they’re structured in two parts:
任何未能满足要求的活动、过程或输出就是不符合项。组织必须实施的特定要求有很多，如ISO 9001，检查表，采购订单和产品规格。但内审员的观点、想法、概念和个人经历并不构成要求。当人们带着想要启动持续改进的目光进行审核时，就常常“发明”要求，虽然常常带有好的意愿。保证正确书写审核不符合项最佳的方法之一是坚持把不符合项分成两部分：
Requirement--Exactly what the organization has committed itself to do
要求——组织已经承诺的准确内容
Finding--Exactly what the organization has or hasn’t done that contradicts the requirement
发现——组织已经或没有做的与要求相抵触的准确内容

Objective evidence 客观证据

Objective evidence is a factual recounting of what was seen, heard or experienced during the audit. Gathering this evidence takes the most time and effort.
It is recorded in the “finding” portion of the requirement and describes exactly how the organization failed to fulfill the requirement.
客观证据是在审核过程中看到的、听到的和感受到的事实叙述。收集证据最耗时耗力。把它记录在要求的“事实”一栏，准确描述组织如何未能满足要求的事实
Objective evidence meets a number of criteria. Among other things, it’s:
客观证据要满足许多标准。
* Not subject to bias or prejudice. Auditors can’t allow their personal feelings to influence their interpretation of the evidence.
* Traceable. As many identifiers as possible should be recorded (e.g., date, time, function, department, machine, customer, order number and product code).
* Expressed as simply as possible. Sometimes auditors will provide a paragraph or more of detail, thinking that more data will provide more convincing evidence. However, the objective evidence is best streamlined and to the point.
* 没有主观偏爱或偏见。不允许内审员个人情感影响对证据的解释
* 可追溯性。记录可能多的识别符（即日期、时间、功能、部门、机器、顾客、订单号、产品编号）
* 描述的越简单越好。有时候内审员要提供一整段细节描述，以为数据越详细证据就越令人信服。但是客观证据最好是简洁的直指要害。
Objective evidence is stated in such a way that the first half of the nonconformity directly contradicts the requirement. Enough detail is provided to facilitate traceability--but not so much that it overwhelms. Auditees expect concise and clearly written findings.
客观证据用这样的方式描述：头半段直接说明不符合项与要求相抵触的地方。提供足够的细节以便追踪——但不要太多以至于让人不知所措。

Consider the following correct audit write-up:
看看以下正确的审核描述方法：
* Requirement: The general manager stated that all employees are expected to understand the facility’s key measures and how to contribute to them. (Note that the requirement comes from the general manager’s statements, which function as requirements when he’s talking about something under his control.)
* 要求：总经理要求所有员工了解该公司的关键措施以及如何为此尽职尽责（注意，要求来自总经理，可作为总经理控制下的要求）
* Finding: Three out of five employees sampled randomly in the shipping department didn’t understand the facility’s key measures or how to contribute to them. (Note that the finding’s language mirrors that of the requirement, stating exactly how the organization failed to meet its commitment. The sample size is defined, and the location is also identified. Employee names, however, are appropriately omitted.)
* 事实：在发运部门随即抽取了五名员工，有三个不知道该公司的关键措施以及如何为此尽职尽责（注意“事实”的语言映出要求的内容，准确叙述组织如何未能满足其承诺的。确定抽样数量，发现的地点。但是恰当地去掉了员工的名字）
Now look at this incorrect write-up:
现在看看不正确的写法：
* Requirement: All employees should understand key measures. (Note that it isn’t clear whether this is an opinion or a requirement. Where did this “should” come from?)
* 要求：所有员工应该了解关键措施（注意这没有清晰这是个观点还是要求。其中“应该”从何而来呢？）
* Finding: Employees were ignorant of the organization’s objectives and strategic direction, and they were obviously unprepared to assist in continual improvement. (Note that here, the finding’s tone is subjective and accusatory. Sample size and other identifiers are omitted, which provides insufficient traceability.)
* 事实：员工不知道组织的目标和战略方向，很明显他们没有对持续改进做好准备。（注意，此处“事实”的语气说主观的和指责性的。忽略了抽样数量和其他识别符，这样未能提供足够的可追溯性）
It generally takes a number of audits before an inexperienced auditor can confidently draw conclusions from objective evidence and write nonconformities clearly and concisely. Practicing the audit process with an experienced auditor is time well spent.
通常，在没有经验的审核员可以自信地从客观证据中得出结论，清晰而准确地写出不符合项之前需要大量的审核。与经验老道的审核员一起训练审核过程是个节省时间的捷径。

The system, not the people 体系而不是人

One of the best ways to understand the system and its effectiveness is through people: how they receive and interpret information, carry out instructions, produce goods and deliver services according to requirements, and satisfy customers. Nevertheless, an audit must always focus on the system itself.
了解体系及其有效性最好的方法之一是通过人：他们知道和解释信息的方式，指导书执行情况，安装要求生产产品和提供服务的情况，满足顾客的情况。然而，审核必须关注于体系本身。
Some auditees might suspect that an audit constitutes a personal attack on their jobs, and auditors must be prepared for that reaction. They should calmly explain that the audit process is all about the system, put the auditees at ease and depersonalize the process as much as possible. If people are uneasy about the audit process, they won’t provide objective evidence, and the audit, in turn, won’t trigger continual improvement.
某些被审人员怀疑审核对他们的工作进行人身攻击，并且准备好应对审核员。他们平静地解释审核过程是针对体系的，让被审人员放宽心，审核过程尽可能的去掉个人因素。如果人们对审核过程感到担忧的话，人们就不提供客观证据，你们审核就无法启动持续改进。
Does this mean people never screw up? Of course not. But when failures are identified during an audit, they’re system failures. Very few nonconformities occur due to willful employee misconduct. If someone makes a mistake or fails to carry out a job step, it’s usually because the system is flawed and error-prone. Fix the system, and people will have less opportunity to screw up.
这是否意味着人们不再砸锅了？当然不是。但当审核时发现了失效情况，这是体系失效。只有极少数的不符合项是由于员工任意所为。如果某人做错了或未能按照作业步骤行事，那通常是因为体系有缺陷，有防错的可能。修正体系，人们就较少的砸锅机会。

Auditing strategic processes 审核战略过程

Not all organizational processes have the same strategic significance. An internal audit system that’s oriented toward continual improvement will focus on strategic issues. Most management system standards such as ISO 9001 require that organizations schedule audits based on status, importance and prior audit results. This means organizational processes with more strategic importance will be audited more often.
The following audit questions reflect on processes that typically have high strategic importance:
不是所有的组织过程具有相同的战略意义。以持续改进为导向的内审则侧重于战略问题。大多数质量管理体系如ISO 9001要求组织基于状况和重要性以及以往审核的结果制定审核计划。这意味着经常要审核组织更具有战略重要意义的过程。以下审核问题关注具有高战略重要性的过程：
* Customer satisfaction. What methods does the organization use to capture customer perceptions? How are data on customer perceptions reported and analyzed? Has overall customer satisfaction improved?
* 顾客满意。组织使用什么方法去获取顾客感受方面的信息？如何报告并分析顾客感受方面的数据？顾客整体满意度得到提高了吗？
* Corrective and preventive action. Is there proof that root causes or potential root causes are being identified? Are actions taken to eliminate root causes or potential root causes? Are data on corrective and preventive actions reported and analyzed?
* 纠正和预防措施。有识别根本原因或潜在原因的证据吗？对根本原因或潜在原因采取措施了吗？对纠正和预防措施的数据上报和分析了吗？
* Leadership. Has the organization determined its mission and strategy? Are organizational performance and direction communicated throughout the organization? Has top management led the review and action on key measures and other important information that indicates organizational success?
* 领导力。组织是否已经确定其使命和战略？是否将组织业绩和方向在组织内传达？最高管理层已经对关键措施和表明这种成功的其它重要信息进行评审和采取措施了吗？
* Internal auditing. Do auditing schedules clearly reflect the strategic importance of processes and the results of previous audits? Does the organization’s management take corrective action on nonconformities raised by audits? Are the corrective actions effective, based on the evidence?
* 内审。审核计划清晰反映出过程的战略重要意义和以往评审结果了吗？组织的管理层对审核出来的不符合项进行纠正措施了吗？证据能说明纠正措施有效吗？
* Design and development. Are design inputs and outputs recorded and approved? Is progress against the design plan periodically reviewed? Is the design process’s output validated under conditions of application or use?
* 设计开发。设计输入输出进行记录和得到批准了吗？是否对设计计划进行阶段性进展评审？是否在实际应用条件下或使用中进行确认设计过程的输出？
* Transformation. How is work planned and scheduled? What information guides work performance in general? How do employees receive feedback on their work? Do employees understand how their efforts affect key measures?
* 转化。如何进行策划和安排时间？通常什么样的信息指导工作业绩？员工如何得到关于他们工作情况的反馈？员工知道他们的工作影响关键措施吗？
These audit questions are examples and might not be applicable to all organizations. Other processes could have strategic significance, depending on the organization’s nature and competitive environment.
以上审核问题都是例子，不能适用于所有的组织。由于组织的性质和竞争环境的不同，其它过程也可能具有战略意义。

Training auditors 培训内审员

Many audits produce poor results because auditors haven’t received proper instruction or been given opportunities to practice what they’ve learned. The organization must invest the necessary time and effort in making its auditors competent and confident before they’re assigned an audit.
许多审核的结果不理想是因为内审员没有得到正确的指导或没有足够的机会去实践其所学。组织必须在内审员进行内审前，投入必要的时间和精力提高内审员的能力和信心。
Auditors must be familiar with:
* Practical interpretations of the standard adopted by the organization
* The audit’s purpose and how it drives continual improvement (i.e., by providing a balanced picture of the organization and triggering corrective and/or preventive actions)
* Phases of the audit and various activities within each phase
* Sources of audit requirements (e.g., the standard, procedures or sales orders)
* Methods of gathering objective evidence and drawing valid conclusions
* Diplomacy skills and effective interpersonal communication
* Audit role-playing under controlled conditions
* Writing nonconformities in the prescribed format
* Actual auditing with an experienced auditor
内审员必须熟悉：
* 组织采用的标准在实际工作中的解释术语
* 内审的目的以及内审如何导致持续改进的原因（即，通过提供和谐的组织描述和启动纠正和/或预防措施来实现）
* 审核阶段以及每个阶段的各个活动内容
* 内审要求的来源（即，标准、工作程序或销售订单）
* 收集客观证据以及得出正确结论的方法
* 交流技巧和有效地人与人之间的沟通能力
* 在受控条件下审核工作模拟
* 在定制表格内填写不合格项
* 与经验老道的审核员一起实际审核

Auditor training doesn’t necessarily need to be formal or even classroom-based. The style and format of training will differ significantly from one organization to the next. However, auditors must have a conceptual understanding of the process and a practical grasp of techniques, both backed up by sufficient practice. When auditors truly understand their roles and responsibilities, the process should result in strategic continual improvement.
内审员的培训不需要十分正式，甚至不需要上课。培训的风格和形式都有很大的不同。但是内审员必须对过程有概念性的了解和对技术的实际应用有所掌握，这都以需要大量的实践作为支撑。当内审员真真切切地了解他们的职责和角色时，过程就会导向战略性的持续改进。
A successful audit almost always results when an individual takes personal ownership of the process. He or she must be able to carry out the following five complex and linked activities, which create strategic continual improvement.
当个人具有过程的所有权时，常常导致内审成功。他/她能够采取以下产生战略性持续改进的五个复杂而又相互联系的方法。
1 Audit scheduling 审核进度表
An audit schedule defines the auditing that will take place during an extended period of time, usually six months or a year. The purpose of the schedule is to communicate when and where the audit team’s services will be needed, when the organization can expect to be audited, and what requirements will be included in the audit.
审核进度表确定审核的时间，通常半年或一年。进度表的目的是传达审核的时间和地点，组织期待审核的时间，以及审核所要包括的要求。
Audits scheduled far in advance always produce better results. Note, too, that the processes considered more strategically important to the organization are scheduled for audits more often. Processes and functions that have performed poorly in previous audits are also scheduled for frequent audits. Regardless of other considerations, all processes, functions and departments within the scope of the management system must be audited at least once a year.
审核进度表定的越早越好。同时要注意，认为越重要的过程审核的次数越多。在以往审核中不理想的过程和职能口也要定出时间进行多次审核。无论其它考虑如何，在质量管理体系内的所有过程、职能口和部门每年至少审核一次。
The schedule can be keyed to organizational processes, departments, functions, facilities, an ISO standard element or something else. However, it must clearly communicate which audits are coming up and when. Audit schedules should provide enough detail to guide the overall process and help with the next step, audit planning.
进度表应该与过程、部门、职能口、车间、ISO标准要素或其他相协调。但是，进度表必须清晰传达进行哪个审核和什么时候进行审核。审核进度表应该提供足够详细的信息以统领所有过程并顺利进行到下一步，审核计划

2 Audit planning审核计划

An audit plan is focused, detailing a single audit’s scope, objectives and agenda. The plan provides a chronology of the audit from start to finish: which processes will be audited, exactly when they’ll be audited, who will do it and which requirements will be audited in each segment. Even details such as meetings, breaks and lunches are shown on the plan in order to clear up any timing conflicts between auditees and auditors and keep the audit on track.
审核计划关注单一审核范围、目的和议程的细节。审核计划定出审核从开始到结束的时间表：审核那些过程，审核什么内容，谁去审以及在每个区域审核什么要求等细节。审核计划甚至包括开会、早餐和午餐这样的细节，以便消除审核员与被审人员在时间问题上的误会，并是审核按计划进行。
Typically, the audit plan is distributed several days prior to the audit. Auditees often request alterations to the plan based on logical concerns and existing commitments. By all means, modify the plan to accommodate them. The one variable that usually never changes, however, is the audit’s scope.
通常，审核计划在审核前七天发出。被审人员经常基于自身的考虑和承诺，需要做些修改。尽一切可能修改计划以适应他们。但有个东西通常不再改变，就是审核范围。

3 Audit supervision 审核监督管理

The audit’s on-site phase consists primarily of gathering evidence. The lead auditor takes part in this and also manages the overall process. These duties typically include:
现场审核主要包括手机证据。审核组长参与其中，同时也管理整个审核过程。其具有代表性的职责包括：
* Leading the opening meeting
* Managing and communicating changes to the audit plan
* Ensuring that the audit stays on track
* Insisting that auditors remain objective, consistently evaluating all evidence
* Encouraging auditors to write up their findings during the audit to avoid a time crunch directly before the closing meeting
* Reviewing all nonconformities to ensure that they’re logical, valid and clear
* Providing performance feedback to audit team members so individuals can target areas for their personal improvement
* Resolving all conflicts constructively
* Apprising the auditee of the audit’s progress
* Leading the closing meeting
* Ensuring that the entire audit is conducted professionally and positively
* 主持首次会议
* 管理和传达审核计划的变更
* 保证审核按计划进行
* 强调审核员保持客观地始终如一地评价所有证据
* 鼓励审核员在审核时写下他们的发现避免末次会议前时间不够用
* 评审所有不符合项，以保证这些不符合项是符合逻辑的，有效的和清晰的
* 给审核小组成员及时的反馈，这样小组成员就可以瞄准他们的需要改进的地方
* 积极解决所有矛盾和冲突
* 对被审人员在审核方面所取得的进展大加赞扬
* 主持末次会议
* 保证整个审核工作的专业性和积极肯定性

If these duties sound difficult, it’s because they are. Many organizations have ineffective audit processes because the so-called lead auditor doesn’t understand his or her responsibilities. An accredited lead auditor course is a very good investment for individuals who function as lead auditors for their organizations.
如果这些职责看起来很难，那是因为确实很难。许多组织审核过程无效就是因为审核组长不理解其职责所在。让那些在组织内实际发挥审核小组组长作用的人上审核组长称职课程是项很好的投资。

4 Audit reporting 审核

The first formal reporting that takes place during an audit is the closing meeting. The lead auditor presents a verbal summary of the audit, including positives and negatives. Depending on the audit’s size and duration, the closing meeting might last from 15 minutes to more than an hour. The meeting allows for back-and-forth dialogue between auditors and auditees. During the closing meeting, auditee management is presented with the written audit observations and/or corrective action requests, and these form the basis for discussion of the audit results.
第一个正式的报告发生在末次会议上。审核小组组长做口头审核总结，包括表扬和批评。根据审核范围和时间的长短，末次会议可进行15分钟到一个多小时。末次会议允许审核员和被审人员你来我往的对话。在末次会议上，在书面审核观察资料和/或纠正措施要求中提及被审部门的领导。
Subsequent to the closing meeting (and occasionally during the closing meeting), an audit report is presented to the auditee management. This summarizes the audit’s overall themes and trends. Usually it’s written by the lead auditor, based on evidence gathered by the entire audit team. The report doesn’t belabor every audit observation because these should have already been addressed during the closing meeting. Audit reports should be as concise and streamlined as possible. Graphics such as matrices and Pareto diagrams are helpful.
末次会议之后（偶尔也有在会议上）把审核报告递交给被审部门的领导。报告总结了审核的整体宗旨和倾向。通常是由审核小组组长基于整个审核小组收集的证据撰写报告。报告不对每个审核观察情况进行长篇大论，因为这些观察情况已经在末次会议上提到了。审核报告应该尽可能的简洁和简明。类似矩阵图和排列图是很用的。

5 Verification and closure 验证和关闭

The auditee management is usually asked to respond to audit nonconformities by an agreed date. The response should include investigation into the root cause, proposed corrective action and a date when the action should be completed.
通常要求被审部门的领导按期对不符合项做出反应。反应包括发现根本原因，提出纠正措施和措施完成的时间。
The lead auditor reviews the responses to determine whether the investigation and proposed corrective actions are adequate. This is the first stage of verification.
One of the most important jobs the lead auditor and auditing team can perform is a careful scrutiny of auditee responses. Accepting weak investigations and/or corrective actions does nobody any favors and certainly doesn’t trigger continual improvement. If a response doesn’t identify a plausible root cause or propose a corrective action related to it, the lead auditor must diplomatically reject the response and explain to the auditee why it’s adequate. The auditee is the audit process’s customer and should be treated with the same respect that any other customer would receive.
审核小组组长评价这些反应并确定根本原因的发现过程和提出的纠正措施是否适宜。这是验证的第一步。审核小组组长和审核小组最重要的工作之一就是仔细审查被审部门的反应。接受不积极的反应和/或纠正措施不是使大家满意，肯定不会激发持续改进。如果反应未识别出似是而非的原因或提出相关的纠正措施，审核小组组长必须巧妙地回绝，并对被审部门解释其原因。被审部门是审核过程的顾客应该受到与其他顾客相同的待遇。
The second stage of verification occurs when the auditee notifies the lead auditor that corrective action has been implemented. At this stage, the lead auditor or a team member will verify that the corrective action has been fully implemented and the root cause of the original nonconformity has been eliminated.
Verification is sometimes performed by reviewing records or documents submitted by the auditee; alternatively, an on-site visit is made to review evidence in person. The nonconformity’s nature and significance will determine whether on-site verification is necessary.
验证的第二步发生在被审部门通知小组组长纠正措施已经完成的时候。再次阶段，小组组长或小组成员验证纠正措施是否已经全部完成，产生不符合项的根本原因已经消除。
Once all audit nonconformities have been addressed with effective corrective action, the audit is considered closed. However, this doesn’t mean it’s forgotten. A high-level discussion of audit results is an important input to the business review process, and audit trends influence resource allocation and strategic decision making.
一旦有效地纠正措施纠正了所有的审核不符合项，就可以认为审核工作结束了。但是，这不意味着审核就可以被忘记了。审核结果的更高层次的讨论是业务评审过程的重要输入，审核倾向影响资源的分配和战略性决策。

From Craig Cochran

ISO 9001:2008 – How it will Impact your Auditing

ISO 9001：2008将如何影响你的审核

Auditing is all about comparing evidence to requirements. That’s why changing requirements always grab the attention of auditors. As most of you know, ISO 9001 is undergoing a revision that is scheduled to be published in 2008. The new standard, ISO 9001:2008, includes mainly editorial amendments: re-arranged words but few significant changes. There are a few things that auditors should take note of, though. Let’s take a look at the Draft International Standard of ISO 9001:2008 and discuss how it might impact your auditing.
审核完全是为了将证据与要求相比较。这就是为什么标准的改变牵动了审核员的心。你们大多数人都知道ISO 9001正在修改，计划在2008年公布。ISO 9001:2008新标准包含了主要评论的修改：重新编排字句，但几乎没有什么重大改变。尽管如此，还是有几个问题需要引起审核员注意。让我们看看ISO 9001:2008国际标准的草案稿，并讨论新标准如何影响审核工作。

Statutory requirements 法定要求

The word statutory will be inserted in a couple of places within the introductory part of the standard. This is primarily to make the language consistent with section 7.2.1—determination of requirements related to the product—which has always required that the organization determine statutory and regulatory requirements for its products. Even though the concept is not new, the requirement reminds all auditors that they need to understand the legal requirements of the products they’re auditing. Statutory and regulatory requirements are often taken for granted by auditors, with the assumption that the organization knows what applies to its products. This is not always the case. During the planning phase, auditors must research the statutory and regulatory requirements on the product produced by the organization, and make sure they able to effectively evaluate this.
“法定”一词被插在标准介绍部分好几处。这主要是保证语言与7.2.1——确定与产品有关的要求，其中经常需要这种确定产品法律法规方面的要求——协调一致。尽管概念不很新颖，但要求所有审核员记住他们审核的产品法定要求。通常情况下，审核员认为组织知道法律法规方面的要求，假设组织知道什么法律法规的要求应用于产品。并不经常是这样的。在策划阶段，审核员必须研究组织生产的产品所应用的法律法规的要求，保证审核员有能力评价产品是否应用了法律法规的要求。
Technically, there is a difference between statutory and regulatory requirements. It’s a very fine difference, though. We’ll cover it briefly for the sake of completeness. Statutes are laws. They say what you can and can’t do in broad terms. Regulations are usually specific guidelines published and enforced by regulatory bodies. The bottom line is that statutes and regulations are both enforced by authorities that can make your life difficult. Understand what statutes and regulations apply to your products, and make sure you’re able to meet them. Satisfaction of this clause is typically achieved in a two part manner:
从技术层面讲，法律和法规司有区别的。尽管区别不是很大。为了保持完整，我们简而言之。法令是法律，广义上说，就是规定你可以和不可以做什么。法规通常是由制定规章的机构公布和推行的特定指南。总之法令和法规是由官方机构推行强制执行的，使得你的生活更加艰难。理解什么法律法规适用于你的产品，保证你能满足这些法律法规的要求。满足该条款通常通过以下两种方法实现：

• Developing a process for understanding and staying up-to-date with statutes and regulations
• 为理解和及时更新法律法规，制定一个过程。
• Compiling an index or listing of statutes and regulations applicable to your products
  将适用于产品的法律法规编个目录或列表

These processes are not specifically required by ISO 9001, but they would represent an effective way of meeting the requirement.
这些过程不是ISO 9001特别要求的，但这些过程会展现出如何有效地满足法律法规要求。
It’s worth noting that statutes and regulations can come from the country in which you are based, and they can originate from countries in which you’re selling your products. Multinational organizations have to consider statutory and regulatory requirements everywhere they operate in the world. Understanding and staying current with statutes and regulations can become somebody’s full time job for companies that operate around the globe.
值得提及的是法律法规的要求可以来自生产国，并且也可来自销售国。跨国组织不得不考虑在世界上每一国的法律法规要求。对于在全球经营的公司，理解和及时更新现行的法律法规工作可以成为某人全部的工作。
This clause is also very significant for companies that produce highly-regulated products. Examples of highly regulated products include:
* Drugs and pharmaceuticals
* Medical devices
* Food
* Aircrafts and aircraft parts
* Explosives and firearms
该条款对生产高监控产品的公司来说也非常具有意义。高监控产品的例子包括：
* 医药
* 医用设备
* 食品
* 航空航天零件
* 炸药和火器

Management representative 管理者代表

ISO 9001:2008 will clarify who can act as the management representative. That role must be held by a member of the organization’s management. This makes 2 things clear:
The management representative is an employee of the organization (not a consultant)
The management representative is someone with the responsibility and authority to make decisions, assign resources, and get things done.
ISO 9001:2008明确谁可以作为管理者代表。必须由组织管理层的成员担任管理者代表。这弄清了2件事：
管理者代表是组织的员工（不是咨询师）
管理者代表是具有职责和职权进行决策、分配资源并使任务得以完成。
In the past, the decision of who was assigned as management representative was usually unchallenged by auditors. This will need to receive some new scrutiny by auditors to ensure that the assignment meets the full intent of ISO 9001:2008. Besides being a member of the organization’s management, there are 3 responsibilities that must be carried out by the management representative and which auditors must verify:
过去，审核员不问及分配谁来担当管理者代表的决议。这需要审核员新的审核点，以保证该任命符合ISO 9001:2008的全部要求。除了是组织成员以外，还有三种管理者代表必须执行的职责，而且也是审核员必须确认的：
1. The management representative will ensure that the processes of the quality management system are established, implemented, and maintained. This is the project management aspect of being a management representative. Establishing, implementing, and maintaining a QMS requires that the management representative must coordinate many different efforts and continually sell the benefits of the system. It bears repeating that the management representative does not own the system, though. Everybody owns the management system, led by top management.
1. 管理者代表保证质量管理体系的过程得以建立、实施和保持。这是作为管理者代表的项目管理部分。建立、实施和保持质量管理体系需要管理者代表必须协调各方面的工作，并不断地宣传质量管理体系的益处。尽管不得不再说一遍管理者代表不拥有质量管理体系。在最高管理层的领导下，每个人拥有该质量管理体系。
2. The management representative will report to top management on the effectiveness of the management system. This happens during management review, possibly the most important process of the entire standard. The management rep does not need to personally collect and present the data on effectiveness, but they make sure it happens. The most effective management reviews involve a wide range of organizational managers and influencers, with the management representative coordinating their input.
2. 管理者代表向最高管理层汇报管理体系有效性。它发生在管理评审阶段，可能是整个标准最重要的过程。管理者代表并不需要他个人去收集和展现有效性方面的数据，但必须保证确实发生过。最有效的管理评审涉及涵盖广泛的组织的经理层和具有影响力的人群，由管理者代表协调这些人的输入。
3. This basically means that the management representative must help promote a customer focus throughout the organization. There is nothing more important to the organization’s success than the customer, and the management representative must continually remind everyone of this fact. Promotion of awareness can be accomplished in many ways, and here are a few simple ways that come to mind:
* Posting data on customer feedback trends
* Publishing product specifications
* Holding meetings that address customer issues
* Serving as a liaison between the organization and the customer
* Distributing memos and emails that clarify customer requirements
3. 其基本含义是管理者代表必须帮助组织促进以顾客为关注焦点工作。对组织成功来说没什么对顾客还重要的了，管理者代表必须不断地提醒每位员工这一事实。可以通过多种方法提高认识，以下是几种简单的方法：
* 公布顾客反馈趋势数据
* 公布产品规格
* 举行会议讨论顾客问题
* 在组织和顾客之间作为联络人
* 分发明确顾客要求的备忘录和邮件

Competence 能力

The competence and training requirements of ISO 9001 have long been some of the most confusing. The reason is that the standard specifies some broad requirements and gives the organization total discretion for how they will be applied. This discretion has been tightened a bit through the requirement that the organization “ensure the necessary competence has been achieved.” This replaces the previous requirements for evaluating the effectiveness of training.
ISO 9001的能力和培训要求已经是长时间最让人头疼的问题了。究其原因是标准给出更广泛的要求，让组织自己判断如何应用这些要求。该判断力已被稍微限定一下，即要求组织”保证达到了必要的能力“，这代替了原来评价培训有效性的要求。
Ensuring that competence has been achieved can take place in a number of manners, but the most obvious is a demonstration of the newly developed skills or abilities. This works especially well for competency building aimed at skills and training. “Okay, we’ve talked about the task, and we’ve demonstrated how it should be performed. Now you give it a try.” If the trainee is able to effectively perform the task over the period of observation, then they could be reasonably considered competent. Keep in mind that the period of observation could be an hour, day, week, or month. It all depends on the complexity of the skill being demonstrated. Most “on-the-job training” programs focus on this kind of evaluation. The trainee starts out as an apprentice and then gradually begins performing many of the tasks themselves. The training culminates in the trainee being able to demonstrate the full range of skills involved with the job.
可以有很多种方法保证已达到能力，但最明显的是新开发的技能或能力的证明。这对旨在技能和培训而建立的能力方面特别奏效。“好吧，我们已经谈妥了任务，我们已经证明任何完成任务。现在你试一试吧”。如果被培训人员能够在观察期内有效地完成任务，那么就有理由认为他们有能力。记住观察期可能是小时、天、周或者是月。观察期的长短取决于要被证明的技能的复杂程度。大多数在职培训项目关注于这类评价。被训人员以徒弟身份开始，然后渐渐地开始独立完成许多工作。在被训人员能够证明相关工作所及的全部技能时，培训结束。
The inspection of an employee's work or product can verify that competence has been achieved. For employees who produce a tangible good or deliver a service, this is often a reasonable indicator of whether training has had the desired effect. Many organizations already have existing systems for inspecting their products, and these systems can be channeled into the training program. But this will only work if the product's inspection is traceable back to individual employees.
检查员工的工作或产品可以验证是否达到能力的要求。对于那些生产有形产品或服务的员工来说，这种方法经常是合理的指示器表明培训示范已经达到期望的效果。大多数组织已经拥有了检查产品的方法，这些方法可被用于培训项目。但是这只适用于产品检查可追溯到个体员工。
Tests and examinations can be used to ensure that competence has been achieved, especially when the competence is related to knowledge and facts. Be aware that many individuals simply don't perform well on formal tests or examinations, regardless of the quality of the instruction and training materials, so this may not be an ideal gauge of effectiveness. Another drawback is that tests are heavy on administration, requiring someone to spend a great deal of time creating the tests, making sure that all learning objectives are addressed, creating answer keys, creating a grading scale, taking time to grade the tests, dealing with test anxiety and disappointment, and so on. Tests and examinations do have the advantage of resulting in a numerical score, which is easy to quantify and track over time.
可用测试和考试的方法来保证能力的达到，特别是当能力与知识和事实相关联时。注意许多员工在测试和考试时表现的不够好，无论在当时和培训资料的质量好坏，因此这也许不是理想的效果测试办法。测试的另一个缺点是给行政管理增加了负担，需要花费大量的时间准备测试，保证教授了所有学习目标，制作答案，制作评分表，考卷打分，处理考试焦虑和失望情绪，等等。测试和考试确实有产生分数的益处，这很容易地量化长期追踪。
Finally, some organizations use performance reviews to draw judgments on whether employees have achieved competency. Most organizations already use performance reviews of some sort. As long as a logical connection can be made between the training and the job performance, the system will work. One caution, however: Make sure to separate the record of performance review from the record of training effectiveness evaluation, as every organization seeking to keep or gain ISO 9001 registration will be required to provide evidence of the evaluation to its third-party auditor. Showing performance review records to outside parties will create ethical (as well as legal) problems, so you're far better off maintaining separate files.
最后，有些组织利用业绩评价来判断员工是否达到能力的要求。大多数组织已经使用业绩评价的某种方法。只有培训与工作业绩之间存在逻辑上的联系，这种方法就有效。但注意：要把业绩评价记录与培训有效性评价记录分开，因为每个组织想要获得ISO 9001认证，就需要给第三方审核员提供评价的证据。给外方出示业绩评价记录会产生道德（同时也可能是法律）问题，因此你最好把文件还是分开放。
Auditors will need to probe the issue of competence deeper than they have in the past. What was once accepted as meeting requirements may not meet the requirements of ISO 9001:2008.
审核员比以前更深入地探究能力问题。以前认为满足标准要求不一定满足ISO9001:2008的要求。

Work environment 工作环境

ISO 9001:2000 will add a note in order to clarify the scope of work environment. Notes are not auditable, of course, but they provide insights on how to interpret the requirements that are auditable. The note states that work environment includes physical, environmental, and other factors needed to produce the products in question. Consider the following examples:
ISO 9001:2000加了个注释以便澄清工作环境的范围。注释部分当然是不审核的， 但可以帮助了解如何解释需审核部分的标准。工作环境的注释包括物理的、环境的和其他使产品出问题的因素。考虑以下例子：
Candy manufacturer: Raw materials are received into the facility and are immediately moved into a climate controlled storage area. The cleanliness of the storage area is immaculate, far different than most other warehouses. A weekly inspection is conducted to look for any evidence of pests. The raw materials are transported into manufacturing by personnel wearing white gloves and smocks, and all manufacturing is tightly controlled under Good Manufacturing Practices. All outside doors and windows are kept closed and the housekeeping is very strict; even the garbage cans are clean and spotless. Nobody with any kind of illness is permitted inside the facility, and no jewelry is permitted to be worn. Once manufacturing is complete, the finished product is stored in an area that is maintained at 40 degrees F, plus or minus 4 degrees, and the gauge used to monitor the temperature is calibrated. A weekly audit is conduced to evaluate the condition of finished product in inventory.
糖果厂：将原材料收到进料器并马上运到气候控制储藏区。储藏区的清洁是无容置疑的，与其他仓库大相径庭。每周检查一次，看是否有害虫。由身穿白色手套和工作服的人员将原材料运送到生产车间，而且所有生产过程实行良好作用规范（GMP）严格控制。紧闭所有对外门窗，极其严格地管理厂区卫生，即使垃圾桶也很清洁和无污物。带有任何疾病的人都不允许进入车间，不允许佩戴珠宝。生产过程一完成，制成品储藏在温度保持在40华氏度，正负4度的仓库，用于监控温度的温度表已做了校准。每周审核一次评价仓库内的制成品。
Insurance company: People are stationed at desks and perform work on computers and telephones. The office temperature is maintained at “typical office conditions,” which is usually a compromise between the women who like the office warmer and the men who like it cooler. Dress codes are enforced so personnel are not distracted in their work and to maintain a professional environment in the event customers visit. Personnel are not allowed to play music from their radios or computers, as the sound disturbs people in their work, even when played at low volume. Hot food items are restricted to the break rooms, as some employees were offended by the smells of certain foods that were consumed at desks. Personnel photographs are decorations are permitted in cubicles, but nothing that could constitute a threatening work environment are allowed. Everything about the office is maintained is a pleasant yet bland manner because this is the environment that was found to result in the highest productivity, lowest service defects, and fewest personnel problems.
保险公司：工作人员坐在桌前，用电脑和电话工作。办公室温度保持在“标准办公室条件”，这是喜欢温暖的女士与喜欢凉爽的男士之间的折中。强制实行着装规定，使工作人员工作时不分神并在顾客访问时保持专业化的环境。工作人员不允许听音乐，因为声音干扰工作，即使小音量也不行。热食品限定在休息室，因为有些工作人员讨厌某些食品的味道。允许用个人照片来装饰工作格，但禁止对工作环境造成危害的任何事情。办公室内的每件东西都以温馨的方式保持着，因为发现这样的环境会产生最高的生产率，最低的服务偏差和最少人员问题。
Paper mill: The inside of the plant is very damp, and a half inch of water is on most of the floors. Additionally, the nature of the production process is very hot in some areas, and the ambient temperature in the summer can reach over 110 degrees. During winter months, temperatures in the warehouses are just a few degrees above freezing. For many years, the harsh environmental conditions were simply accepted as a given. The conditions didn’t negatively affect the product, so management felt no need to change anything. Recently it became clear that employees were becoming ill at a higher than normal rate, however. The increased illnesses affected the mill’s attendance rate, which in turn impacted its ability to produce paper on schedule. Work conditions are being improved now that the link between the environment and product conformity was recognized.
造纸厂：工厂内部非常潮湿，地板上有半英寸的水。另外，生产过程在某些工位非常炎热，夏天周围温度可达110多度。到了冬季，仓库温度只有零上几度。把这样艰苦的环境条件视为是理所应当已经很多年了。但是最近发现工人在高温下生病的比例大于平时。疾病影响了工厂的出勤率，从而影响了按时生产纸张的能力。现在工作条件正在得到改善，环境与产品符合性之间的关系得到了重视。
In all these cases, the work environment is focused on what is needed for the product in question. Sometimes organizations discover connections between the work environment and product conformity that they didn’t know existed, as in the paper mill example. ISO 9001 simply says that you will determine the environmental conditions that you require. Whatever you require is what you will be expected to provide and maintain.
在上述案例中，工作环境关注的是产品需要什么样的条件。有时候，组织发现他们不知道工作环境与产品符合性之间有联系，正如造纸厂的例子。ISO 9001只是简简单单地说你要确定你需要的工作环境的条件。你需要什么就是希望你提供和保持什么。
Here are some typical controls related to specific work environment variables:
以下是与特定工作环境变量有关的典型控制：
* Temperature and humidity: Gauges for monitoring, records of conditions, records of gauge calibration, investigation of affected product when conditions fail to meet environmental requirements
* 温湿度：用仪表进行监控，记录温湿度，记录仪表校准情况，在条件未能满足环境要求时调查受影响的产品
* Safety hazards: Identification of hazards, prioritization of risks, procedures for job safety, monitoring of compliance, records of monitoring, corrective action on accidents and near misses, regular meetings to discuss safety issues
* 安全损害：识别损害，对风险进行分级，制定工作安全程序，监控执行情况，记录监控情况，在发生事故和差点出事时采取纠正措施，定期开会讨论安全问题。
* Lighting, noise, vibration: Specifications for characteristic, procedures for maintaining specifications, ongoing measurement of characteristic, records of measurement, calibration of gauges, records of calibration
* 光线，噪音，震动：做出参数规范，制定程序保持规范，不断地测量参数，记录测量结果，对仪表进行校准，记录校准情况
* Housekeeping: Procedures for housekeeping, defined responsibilities, training of personnel, periodic audits of housekeeping, corrective action on nonconformities, signage to remind personnel of guidelines
* 厂区卫生。制定卫生程序，确定职责，培训员工，定期检查，发现不合格采取纠正措施，做出标志提醒员工遵守
* Personal hygiene & behavior: Documented policies for personnel, recurring training, monitoring by supervision, counseling for employees
* 个人卫生和行为：出台政策，再犯培训，监督监控，提供咨询
ISO 9001 does not require documented procedures or records related to work environment, though it often makes sense to have such things. In cases where the organization establishes requirements for work environment, then the only way to verify that the environmental conditions were met would be through records. Documentation would also be required to consistently communicate the work environment requirements and controls.
ISO 9001对工作环境不需要文件化的程序或记录，虽然制定出文件化的程序和记录经常是有意义的。如果组织建立了工作环境要求，你们确认工作环境是否得以满足的唯一方法就是通过记录。也需要文件始终如一地搭建工作环境要求与控制之间的桥梁。

Thursday, January 24, 2008 By Craig Cochran
(Originally published in The Auditor, Jan-Feb 2008)

Translated by Jelly Feb. 20, 2009